DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

P•••••• O••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156403SEC 801-73960IAPD

Latest filing Mar 30, 2023

First filing on the tape Feb 14, 2012 · 21 filings

RAUM

$218M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$217M gross assets

History

21 filings and snapshots on the tape

RAUM$218M as of Mar 30, 2023

Mar 28, 2013$987M then

HNW client RAUM: $963M

State-registered IARs (5.B.3)0 as of Mar 30, 2023

Mar 28, 20130 then

Employees (5.A)3 as of Mar 30, 2023

Mar 28, 201312 then

Private funds2 as of Mar 30, 2023

Mar 28, 20134 then

RAUM -40% over the last fiscal year-31% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2023; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $72.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -40%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: yesreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$217M99%
Corporations and businesses$1.4M0.6%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

9 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
P•••••• O••••••• F••• I•• L••• • S••••• 1•no longer reported	Private Equity Fund	$159M	2	Feb 14, 2012
P•••••• R••• A••••• L•• • S••••• 1•	Private Equity Fund	$139M	6	Mar 30, 2015
P•••••• O••••••• F••• I•• L••• • S••••• 2•no longer reported	Private Equity Fund	$62.0M	1	Mar 28, 2014
P•••••• O••••••• F••• I• L••• • C•••• B•no longer reported	Private Equity Fund	$28.3M	2	Mar 28, 2013
P•••••• O••••••• O•••••• F••• L••no longer reported	Private Equity Fund	$26.2M	4	Mar 28, 2013
P•••••• O••••••• F••• I• L••• • C•••• A•no longer reported	Hedge Fund	$12.1M	3	Feb 14, 2012
P•••••• R••• A••••• L•• • S••••• 2•	Private Equity Fund	$9.9M	1	Mar 30, 2016
P•••••• R••• A••••• L•• • S••••• 3•	Private Equity Fund	$5.2M	2	Mar 30, 2017
P•••••• O••••••• F••• I•• L••• • S••••• 3•no longer reported	Private Equity Fund	$106,726	1	Mar 30, 2017

Owners and control persons

Schedule A and B, latest filing

R••••••• S•••••• T••••• · Chief Financial Officer And Chief Compliance Officercontrol
since 05/2019 · owns less than 5%
T•••••• C••••••• A•• · Chief Operating Officercontrol
since 03/2022 · owns less than 5%
T••••••• F••••• N•• · Chief Investment Officercontrol
since 01/2018 · owns less than 5%
T••••••• F••••• N•• · Partnercontrol
since 01/2021 · owns 75% or more of P•••••• O••••••• M••••••••• L•
T••••••• F••••• N•• · Managing Membercontrol
since 01/2021 · owns 75% or more of P•••••• O••••••• M••••••••• G•• L••

Entity owners

P•••••• O••••••• M••••••••• L• · Managing Member
direct · owns 75% or more
P•••••• O••••••• M••••••••• G•• L•• · General Partner
indirect · owns F of P•••••• O••••••• M••••••••• L•

Related persons

Schedule D 7.A

S•••••• C••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Mar 29, 2022 to Mar 30, 2023
Advisory employees · 4 to 3
Mar 29, 2022 to Mar 30, 2023
Pooled vehicle clients · 3 to 2
Mar 29, 2022 to Mar 30, 2023
Employees · 4 to 3
Mar 29, 2022 to Mar 30, 2023
Private funds · 3 to 2
Mar 29, 2022 to Mar 30, 2023
Discretionary RAUM · $365M to $217M
Mar 29, 2022 to Mar 30, 2023
Non-discretionary RAUM · $1.5M to $1.4M
Mar 29, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $365M to $217M
Mar 29, 2022 to Mar 30, 2023
RAUM · $366M to $218M
Mar 29, 2022 to Mar 30, 2023
Accounts · 10 to 4
Mar 31, 2021 to Mar 29, 2022
Advisory employees · 10 to 4
Mar 31, 2021 to Mar 29, 2022
Pooled vehicle clients · 6 to 3
Mar 31, 2021 to Mar 29, 2022
Employees · 11 to 4
Mar 31, 2021 to Mar 29, 2022
Private funds · 5 to 3
Mar 31, 2021 to Mar 29, 2022
Discretionary RAUM · $496M to $365M
Mar 31, 2021 to Mar 29, 2022
Non-discretionary RAUM · $7.3M to $1.5M
Mar 31, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $479M to $365M
Mar 31, 2021 to Mar 29, 2022
RAUM · $504M to $366M
Mar 31, 2021 to Mar 29, 2022
Accounts · 11 to 10
Jan 11, 2021 to Mar 31, 2021
Pooled vehicle clients · 7 to 6
Jan 11, 2021 to Mar 31, 2021
Employees · 10 to 11
Jan 11, 2021 to Mar 31, 2021
Discretionary RAUM · $642M to $496M
Jan 11, 2021 to Mar 31, 2021
Non-discretionary RAUM · $9.0M to $7.3M
Jan 11, 2021 to Mar 31, 2021
Pooled vehicle RAUM · $581M to $479M
Jan 11, 2021 to Mar 31, 2021
RAUM · $651M to $504M
Jan 11, 2021 to Mar 31, 2021
Advisory employees · 11 to 10
May 14, 2019 to Mar 27, 2020
Employees · 11 to 10
May 14, 2019 to Mar 27, 2020
Discretionary RAUM · $641M to $642M
May 14, 2019 to Mar 27, 2020
Non-discretionary RAUM · $9.8M to $9.0M
May 14, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $575M to $581M
May 14, 2019 to Mar 27, 2020
RAUM · $651M to $651M
May 14, 2019 to Mar 27, 2020
Discretionary RAUM · $642M to $641M
Mar 29, 2019 to Apr 25, 2019
Pooled vehicle RAUM · $576M to $575M
Mar 29, 2019 to Apr 25, 2019
RAUM · $652M to $651M
Mar 29, 2019 to Apr 25, 2019
Accounts · 20 to 11
Nov 5, 2018 to Mar 29, 2019
Advisory activities · 3 to 2
Nov 5, 2018 to Mar 29, 2019
Pooled vehicle clients · 11 to 7
Nov 5, 2018 to Mar 29, 2019
Employees · 12 to 11
Nov 5, 2018 to Mar 29, 2019
Private funds · 8 to 5
Nov 5, 2018 to Mar 29, 2019
Discretionary RAUM · $637M to $642M
Nov 5, 2018 to Mar 29, 2019

Signals

7 dated events

P•••••• O••••••• M••••••••• L•• reported RAUM $218.4M, down 40% from $366.4M (2022-03-29 to 2023-03-30)
Mar 30, 2023 · RAUM change · derived
P•••••• O••••••• M••••••••• L•• reported RAUM $366.4M, down 27% from $503.6M (2021-03-31 to 2022-03-29)
Mar 29, 2022 · RAUM change · derived
Francis Michael Lynch (Chief Operating Officer) no longer on Schedule A of P•••••• O••••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-29)
Mar 29, 2022 · Control person left · inference
Ann Cynthia Tatham (Chief Operating Officer) appeared on Schedule A of P•••••• O••••••• M••••••••• L••
Mar 29, 2022 · Control person joined · fact
Amirali Karim Rehmat (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of P•••••• O••••••• M••••••••• L•• (listed 2019-04-25, absent 2019-05-14)
May 14, 2019 · Control person left · inference
Thomas Steven Ruggeri (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of P•••••• O••••••• M••••••••• L••
May 14, 2019 · Control person joined · fact
P•••••• O••••••• M••••••••• L•• reported RAUM $651.6M, down 62% from $1.7B (2018-11-05 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

P•••••• O••••••• M••••••••• L•• · Private Equity
shared crd · organization

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026